DFX Intelligence

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T•••••••• W••••• M••••••••• L••

Independent wealth managerSEC-registered· Newport Beach, Californiawebsite

Independent wealth manager, based in Newport Beach, California, reporting $250M of regulatory assets across 3 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $250M
Advisors: 3
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +18%
Private clients: 80% of RAUM, $201M

Advisors (3)Advisor movement Where the RAUM sits

As of 2026-03-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +18% over the last fiscal year, to $250M.
2026-03-04
RAUM a year earlier $212MRAUM now $250M
7 published business contact points are on record, each with its source.
Contact points 7

Every filed figure, and the identifiersCRD 332422 · SEC 801-130960 · 7 filingsShow

CRD 332422SEC 801-130960First filing on the tape Jul 22, 2024, latest Mar 4, 2026SEC status approved since Aug 21, 2024IAPD

RAUM

$250M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

80%

$201M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$83.2M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

7 filings and snapshots on the tape

RAUM$250M as of Mar 4, 2026

Feb 24, 2025$212M then

HNW client RAUM$192M as of Mar 4, 2026

Feb 24, 2025$160M then

State-registered IARs (5.B.3)2 as of Mar 4, 2026

Feb 24, 20252 then

Employees (5.A)3 as of Mar 4, 2026

Feb 24, 20253 then

Private funds: no history

RAUM +18% over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Mar 4, 2026; every figure names its basis

Archetypes, each a printed rule

Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $83.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 28derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.8MderivedHNW RAUM over HNW clients
Average account: $643,483derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 9.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +18%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +20%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$192M77%
Corporations and businesses$26.1M10%
Pension and profit-sharing plans$18.9M7.6%
Individuals$8.6M3.4%
Charitable organizations$3.8M1.5%

Individual clients: 16reported
HNW clients: 68reported
Pension plan clients: 7reported
Charitable clients: 2reported
Accounts: 388reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.8 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
D•••• R••••• W•••••Certified Financial Planner	Newport Beach, Ca	Aug 23, 2024	23 y	3
T••• H••••••• B••••Certified Financial Planner	Newport Beach, Ca	Sep 4, 2024	11 y	1
T•••• C•••••••• K•••••	Newport Beach, Ca	Apr 10, 2025	10 y	0

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

T••• H••••••• B•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Sep 4, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
D•••• R••••• W••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Aug 23, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Aug 26, 2024 · Newport Beach, Ca

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

W•••••• D••••• R••••• · Ceo, Cio, & Ccocontrol
since 08/2024 · owns 75% or more
B••••• T•••• H••••••• · Coo
since 08/2024 · owns 5% to 10%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Newport Beach, Ca · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 307 to 388
Oct 6, 2025 to Mar 4, 2026
Charity clients · unset to 2.0
Oct 6, 2025 to Mar 4, 2026
Corporate clients · 15 to 8
Oct 6, 2025 to Mar 4, 2026
HNW clients · 55 to 68
Oct 6, 2025 to Mar 4, 2026
Individual clients · 15 to 16
Oct 6, 2025 to Mar 4, 2026
Pension plan clients · unset to 7.0
Oct 6, 2025 to Mar 4, 2026
Financial planning clients · 11-25 to 51-100
Oct 6, 2025 to Mar 4, 2026
Discretionary RAUM · $212M to $250M
Oct 6, 2025 to Mar 4, 2026
HNW RAUM · $160M to $192M
Oct 6, 2025 to Mar 4, 2026
Individual RAUM · $7.0M to $8.6M
Oct 6, 2025 to Mar 4, 2026
Pension RAUM · unset to 18881370.0
Oct 6, 2025 to Mar 4, 2026
RAUM · $212M to $250M
Oct 6, 2025 to Mar 4, 2026
Financial planning clients · 11-25 to 11-25
Feb 24, 2025 to Jun 26, 2025
Accounts · 282 to 307
Dec 12, 2024 to Feb 24, 2025
HNW clients · 48 to 55
Dec 12, 2024 to Feb 24, 2025
Discretionary RAUM · $201M to $212M
Dec 12, 2024 to Feb 24, 2025
HNW RAUM · $149M to $160M
Dec 12, 2024 to Feb 24, 2025
RAUM · $201M to $212M
Dec 12, 2024 to Feb 24, 2025
Accounts · 0 to 282
Sep 16, 2024 to Dec 12, 2024
Corporate clients · unset to 15.0
Sep 16, 2024 to Dec 12, 2024
HNW clients · unset to 48.0
Sep 16, 2024 to Dec 12, 2024
Individual clients · unset to 15.0
Sep 16, 2024 to Dec 12, 2024
Financial planning clients · 0 to 11-25
Sep 16, 2024 to Dec 12, 2024
Discretionary RAUM · $0 to $201M
Sep 16, 2024 to Dec 12, 2024
HNW RAUM · unset to 149000000.0
Sep 16, 2024 to Dec 12, 2024
Individual RAUM · unset to 7000000.0
Sep 16, 2024 to Dec 12, 2024
RAUM · $0 to $201M
Sep 16, 2024 to Dec 12, 2024
Advisory employees · 1 to 2
Jul 22, 2024 to Sep 16, 2024
Employees · 1 to 3
Jul 22, 2024 to Sep 16, 2024
Insurance-licensed employees · 1 to 0
Jul 22, 2024 to Sep 16, 2024
State-registered IARs · 1 to 2
Jul 22, 2024 to Sep 16, 2024

Signals

2 dated events

••• Locked
Aug 26, 2024 · Team lift-out · derived
••• Locked
Jul 22, 2024 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 4, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 4, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $83.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026